Paloma Partners’s Sprott Physical Gold PHYS Stock Holding History

Paloma Partners’s Portfolio PHYS Stock Details PHYS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q1	–	Sell	-200,000	Closed	-$1.95M	–	1381
2014 Q4	$1.95M	Sell	200,000 -50,000	-20%	-$496K	0.08%	261
2014 Q3	$2.49M	Sell	250,000 -25,000	-9%	-$265K	0.11%	176
2014 Q2	$3.03M	Sell	275,000 -25,000	-8%	-$267K	0.12%	168
2014 Q1	$3.2M	Sell	300,000 -91,588	-23%	-$985K	0.21%	101
2013 Q4	$3.9M	Buy	391,588 +25,000	+7%	+$263K	0.2%	119
2013 Q3	$4.04M	Sell	366,588 -11,900	-3%	-$132K	0.16%	104
2013 Q2	$3.87M	Buy	+378,488	New	+$4.47M	0.22%	105

Other funds holding PHYS

Pekin Hardy Strauss Chicago, Illinois $957M AUM 44.61% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Polar Asset Management Partners Toronto, Ontario, Canada $5.01B AUM 35.27% 1-Year Est. Return

Sprott Inc Toronto, Ontario, Canada $3.44B AUM 125.26% 1-Year Est. Return

Commonwealth Equity Services

Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Portola Group San Jose, California $75.6M AUM 15.13% 1-Year Est. Return

Bluefin Capital Management New York $156M AUM 18.47% 1-Year Est. Return

Tocqueville Asset Management New York $6.74B AUM 32.29% 1-Year Est. Return

Citizens Business Bank Ontario, California $610M AUM 27.86% 1-Year Est. Return